Burr Forman

AUGUST 18, 2021

The Financial Industry Regulatory Authority (“FINRA”) recently kicked off a “sweep” examination with its August 2021 Targeted Exam Letter on “practices and controls related to the opening of options accounts and related areas, including account supervision, communications and diligence.” Tom is licensed in Tennessee, Texas, and Louisiana.

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Burr Forman

FEBRUARY 2, 2021

On February 1, 2021, the Financial Industry Regulatory Authority (“FINRA”) released its “Report on FINRA’s Risk Monitoring and Examination Activities.” Social media platforms , including the “gamification” of trading. Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP.

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Burr Forman

FEBRUARY 9, 2021

During the height of the GameStop (NYSE: GME) mania, Slate author Jordan Weissman explained that. “[A]t In that week when GME swung wildly from $76 to $347 per share, regulators issued several investor alerts warning about the risks of short-term trading in volatile assets. What We Talk About When We Talk About Stonks,” Slate (Jan.

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Burr Forman

SEPTEMBER 23, 2021

Earlier, in September 14 testimony before the Senate Banking Committee [1], former CFTC and current SEC Chair Gensler noted that cryptocurrencies sit astride several different regulatory regimes, posing broad risks: “Currently, we just don’t have enough investor protection in crypto finance, issuance, trading, or lending. We can do better.”.

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